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Charlie’s Holdings, Inc. 
 CA
  SEC # 1134765

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756  SEC Filings
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  from  2/27/01  to  2/12/24  (6 Weeks Ago)

  List All Filings  or
  Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent   
 
Most-Recent Filing:    ‘SC 13G/A’ — Amendment to Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G — Filed re:  Issuer / Subject Company — Filed by:  Iroquois Capital Management, LLC 
 
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notifications of all
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Filings
involving  Charlie’s Holdings, Inc. 

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Forms
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, Documents
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& Exhibits
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 in  470 Filings
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 Filed as:  Filer / Offerer  or  Owner / Insider


        
Latest Filing  Type    Category    Description        Documents
     
11/14/2310-QUpdate:  Quarterly Reports — Form 10-Q — Financial Reports
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48
6/30/238-KUpdate:  Current Reports — Form 8-K — Press Releases
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& Conference Calls
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 — Financial Reports
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231

8-K Items: 
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11/3/21 OLD
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  Business & Operations: 
Entry into a Material Definitive Agreement — Item 1.01  OLD  — ‘EX-10’
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66
4/30/19 OLD"Termination of a Material Definitive Agreement — Item 1.02  OLD  — ‘EX-10’
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4
5/1/19 OLD
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  Financial Info: 
Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ‘EX-2’
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3
4/27/18 OLD"Results of Operations and Financial Condition — Item 2.02  OLD  — Financial Reports
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15
5/8/20 OLD"Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03  OLD  — ‘EX-10’
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32
3/3/09 OLD
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  Securities & Trading: 
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD 7
5/26/21 OLD"Unregistered Sales of Equity Securities — Item 3.02  OLD  — ‘EX-1’
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53
4/4/23"Material Modifications to Rights of Security Holders — Item 3.03 — ‘EX-4’
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13
6/30/23
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  Accountants & Accounting: 
Changes in Registrant’s Certifying Accountant — Item 4.01 — ‘EX-16’
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6
4/30/19 OLD
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  Governance & Management: 
Changes in Control of Registrant — Item 5.01  OLD  — ‘EX-9’
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2
6/20/23"Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers
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50
4/4/23"Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03 — ‘EX-3’
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14
6/20/23"Submission of Matters to a Vote of Security Holders — Item 5.075
6/16/21 OLD
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  Disclosures: 
Regulation FD Disclosure — Item 7.01  OLD  — ‘EX-99’
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24
11/3/21 OLD
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  Events: 
Other Events — Item 8.01  OLD 92
6/20/23
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  Financials: 
Financial Statements and Exhibits — Item 9.01 — Financial Reports
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173

5/15/23NT 10-QUpdate:  Notices of Late Filings of Form 10-Q Quarterly Reports — Form 12b-256
4/27/23DEFA14AProxy:  Definitive Additional Proxy Soliciting Material — Schedule 14A1
4/27/23DEF 14AProxy:  Definitive Proxy Statements — Schedule 14A — Financial Reports
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8
4/17/2310-KUpdate:  Annual Reports — Form 10-K — Financial Reports
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15
3/31/23NT 10-KUpdate:  Notices of Late Filings of Form 10-K Annual Reports — Form 12b-258
12/22/22 OLDS-8Registration:  Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD 5
2/4/22 OLDDEF 14CProxy:  Definitive Proxy Info Statements — Schedule 14C  OLD 8
3/31/21 OLDDRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 11
2/20/20 OLD424B3Registration:  Prospectuses – New Facts or Events  OLD 7
2/18/20 OLDEFFECTSEC:  SEC Notices of Effectiveness  OLD 7
2/13/20 OLDCORRESPComment:  Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ]  OLD  — All Correspondence with the SEC
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23
2/13/20 OLDS-1Registration:  Registration Statements (General Form) — Form S-1  OLD  — Financial Reports
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16
5/28/19 OLDSC 14F1Ownership:  Statements re: Changes in the Majority of Directors — Schedule 14F-1  OLD 2
5/15/19 OLDPRE 14CProxy:  Preliminary Proxy Info Statements — Schedule 14C  OLD 7
7/29/14 OLDS-1MEFRegistration:  Registration Statement to Add Securities to a Prior Form S-1 Registration  OLD 1
1/2/14 OLDPRE 14AProxy:  Preliminary Proxy Statements — Schedule 14A  OLD 4
3/28/11 OLDPRER14AProxy:  Preliminary Revised Proxy Soliciting Materials — Schedule 14A  OLD 4
3/28/08 OLD10KSBUpdate:  Annual and Annual-Transition Reports by Small Businesses (Optional Form) — Form 10-KSB  OLD 7
11/2/07 OLD10QSBUpdate:  Quarterly and Quarterly-Transition Reports by Small Businesses (Optional Form) — Form 10-QSB  OLD 21
7/25/07 OLD424B1Registration:  Prospectuses – Info Previously Omitted  OLD 3
7/13/07 OLDS-3Registration:  Registration Statements – Securities for Transactions — Form S-3  OLD 6
5/31/07 OLDREGDEXRegistration:  Notices of Exempt Offerings of Securities — Form D  OLD 2
6/6/05 OLD25Trading:  Notice by an Issuer of the Removal from Listing and Registration on a Securities Exchange of Matured, Redeemed or Retired Securities — Form 25  OLD 1
4/5/05 OLD424B4Registration:  Prospectus – Info Previously Omitted & New Facts or Events  OLD 1
4/5/05 OLDCERTAMXTrading:  Certification by the American Stock Exchange Approving a Listing — Form CERT  OLD 1
3/31/05 OLD8-A12BRegistration:  Registration Statements for Certain Classes of Securities — Form 8-A  OLD 2
3/30/05 OLDSB-2Registration:  Registration Statements by Small-Business Issuers (Optional Form) — Form SB-2  OLD 12
10/25/04 OLDPRER14CProxy:  Preliminary Revised Proxy Info Statement — Schedule 14C  OLD 1
7/29/04 OLD8-A12GRegistration:  Registration Statement for a Class of Securities — Form 8-A  OLD 1
4/1/02 OLD10KSB40Update:  Annual or Annual-Transition Report by a Small Business — Reg. S-B – Item 405 — Form 10-KSB  OLD 1

General Exhibits: 
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11/14/23EX-10Material Contracts173
4/17/23EX-23Consents of Experts and Counsel57
4/17/23EX-4Instruments, Including Indentures, Defining the Rights of Security Holders24
4/17/23EX-21Subsidiaries Lists14
4/4/23EX-3Articles of Incorporation/Organization and Bylaws33
12/22/22 OLDEX-FILING FEESFiling Fees  OLD 1
12/22/22 OLDEX-5Opinions of Counsel re: Legality  OLD 17
6/12/12 OLDEX-2Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD 2
3/31/11 OLDEX-14Codes of Ethics  OLD 23
4/2/09 OLDEX-9Voting Trust Agreements  OLD 2
1/18/05 OLDEX-1Underwriting Agreement or Conflict Minerals Report  (or mislabeled “1st Exhibit”)  OLD 1

Additional Exhibits: 
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3/3/22 OLDEX-99  &  EX-99.*Miscellaneous Exhibits, such as Press Releases  OLD  — Press Releases
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& Conference Calls
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EX-99.*  Form-Specific Exhibits...  Form N-14:  1 Articles of Incorporation/Organization
177

Financials: 
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11/14/23EX-31Certifications — §302 – SOA’02162
11/14/23EX-32Certifications — §906 – SOA’02160
11/14/23XML  &  R#IDEA Financial Reports Info — Financial Reports
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2,143
11/14/23EXCELIDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports
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66
11/14/23EX-101.*XBRL Data  (XBRL Files)330
11/14/23JSONXBRL Instances as JavaScript Object Notation Data  (JSON Files)17
11/14/23ZIPXBRL Zipped Folders
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  (Folders of XBRL Files)
59
6/20/23EX-16Letters re: Changes in Accountants6

Graphics: 
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11/14/23GRAPHICPhotos, Images and Graphs315


Forms
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, Documents
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& Exhibits
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 in  288 Filings
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 Filed re:  Issuer / Subject Company


        

        
Latest Filing  Type    Category    Description        Documents
     
2/12/24SC 13GOwnership:  Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G20
12/4/234Ownership:  Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4173
6/26/233Ownership:  Initial Statements of Beneficial Ownership of Securities by Insiders — Form 343
2/18/22 OLDSC 13DOwnership:  Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD 16
5/28/19 OLDSC 14F1Ownership:  Statements re: Changes in the Majority of Directors — Schedule 14F-1  OLD 2
2/13/19 OLD5Ownership:  Annual Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 5  OLD 11
6/11/09 OLD25-NSETrading:  Notice by a Securities Exchange of the Removal from Listing and Registration of Matured, Redeemed or Retired Securities — Form 25  OLD 1

Letters: 
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2/12/20 OLDLETTERComment and Other Letters from the SEC  [ a.k.a. UPLOAD ]  OLD  — All Correspondence with the SEC22
2/12/20 OLDTEXT-EXTRACTComment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]  OLD 5

General Exhibits: 
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7/24/19 OLDEX-24Powers of Attorney  OLD 6
4/25/16 OLDEX-4Instrument Defining the Rights of Security Holders  OLD 1

Additional Exhibits: 
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9/21/21 OLDEX-99Miscellaneous Exhibits, such as Press Releases  OLD 9


        

Filings History

Year    # of Filings
In descending order
2024 1
2023 29
2022 21
2021 25
2020 28
2019 51
2018 16
2017 17
2016 28
2015 62
2014 58
2013 32
2012 53
2011 41
2010 47
2009 18
2008 29
2007 66
2006 30
2005 41
2004 36
2003 17
2002 4
2001 6

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